Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

Active and Reactive Monitoring

• Active monitoring is about checking to ensure that standards are met and that the workplace is in fact safe and
free of health risks before any untoward event takes place.
• Safety inspections, sampling, surveys and tours are four active monitoring methods that can be used to check
conformance to standards.
• Workplace inspections play an important role in active monitoring. Various factors must be considered when
setting up an inspection system, such as:
–– Type of inspection.
–– Frequency of inspection.
–– Responsibilities for inspection.
–– Competence of the inspector.
–– Use of checklists.
–– Action planning for problems found.
• If an inspection report is written then it must be effective. This requires an appropriate writing style, structure,
content and the use of persuasive argument to justify recommendations.
• Reactive monitoring is about measuring safety performance by reference to accidents, incidents and ill-health
that have already occurred. Reactive measures therefore include measures of incident types and frequency
rates, sickness absence rates, number of reported near miss events and property damage incidents, etc. The
number of enforcement actions taken and number of civil claims can also be considered reactive measures.

Health and safety performance should be monitored. There are many different ways of actively monitoring
This can be done using various methods that fall into health and safety performance. We will outline some of
two broad categories: them in the following sections.
• Active monitoring – to ensure that health and
safety standards are correct in the workplace before
Performance Standards
accidents, incidents or ill-health are caused. In order to actively monitor performance standards you
have to identify exactly which performance standard to
• Reactive monitoring – using accidents, incidents monitor and what level of performance is acceptable.
and ill-health as indicators of performance to
highlight areas of concern. You could actively monitor the following activities to give
a measure of performance:
In most workplaces both types of monitoring have their
place. • Number and quality of risk assessments covering
work activities.
Monitoring should be a line management function, but
remember that senior management has responsibility for • Provision of health and safety training to schedule.
ensuring that effective health and safety performance • Completion of consultative committee meetings to
monitoring systems are in place. schedule.
• Completion of workplace inspections to schedule.
Active Monitoring
Active monitoring is concerned with checking standards • Completion of safety review meetings to schedule.
before an unwanted event occurs. The intention is to
identify:
• Conformance with standards, so that good
performance is recognised and maintained.
• Non-conformance with standards, so that the reason
for that non-conformance can be identified and
corrective action put in place to remedy any shortfall.

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

All these management activities are likely to be taking

place in the workplace, so it is possible to assess whether
they are happening or not. In most instances you can
also measure the degree to which they are happening
and perhaps assess their quality. For example, a standard
might be that when contractors start new work on site
there should be suitable and sufficient risk assessments
to cover their work. The presence or absence of risk
assessments can be checked. The number of risk
assessments can be measured to quantify compliance.
The quality of each risk assessment can be judged. In this
way a full picture of compliance can be built up.
Weekly inspection by a site supervisor
Systematic Inspections
One popular way to actively monitor health and safety Safety Inspections, Sampling, Tours and
performance is to carry out systematic inspections. These Surveys
inspections can focus on the four Ps:
These are four slightly different methods of active
• Plant – machinery and vehicles as well as any monitoring, each of which has a place in an active
statutory inspections and examinations. monitoring regime. (Remember that the actual names
given to these methods may vary between workplaces.)
• Premises – the workplace and the working
environment.
Safety Inspections
• People – working methods and behaviour. The term “safety inspection” means a regular, scheduled
• Procedures – safe systems of work, method activity with comparison to accepted performance
statements, permits-to-work, etc. standards. It can be applied to:
An inspection might concentrate on one, several or all • The routine inspection of a workplace to determine
four of these areas. Systematic inspection regimes usually if general standards of health and safety are
exist in many different forms within different workplaces. acceptable or if corrective action is necessary (e.g. a
quarterly housekeeping inspection in an office).
For example, in a distribution warehouse there might be:
• The statutory inspection of an item by a competent
• A daily inspection regime where forklift truck drivers person to fulfil a legal requirement (e.g. the
inspect their own vehicles at the start of each shift – annual thorough examination of an item of lifting
Plant. equipment).
• A weekly inspection regime where supervisors check • The periodic inspection of plant and machinery as
that forklift trucks are being driven safely – People. part of a planned maintenance programme (e.g. a
• A monthly inspection regime where the manager mechanic inspects the brakes on a lorry on a regular
checks the entire warehouse for housekeeping – basis to ensure they are not excessively worn).
Premises. • The pre-use checks carried out by workers before
• A six-monthly thorough examination of each forklift they use certain items of plant and machinery (e.g.
truck by a competent engineer to ensure safety of the start up checks carried out by a forklift truck
the load-bearing parts – Plant. driver).
• An annual inspection regime for the storage racking All these inspections can be repeated routinely to form
to ensure structural integrity – Premises. an inspection regime, and can all be recorded to provide
evidence of inspection.
If this series of inspections is in place then it is possible
to monitor the degree to which each is being carried
Safety Sampling
out successfully. In this way two different types of active
monitoring are being carried out: one on the workplace This is the technique of monitoring compliance
directly (the 4Ps), and one on the performance of those with a particular workplace standard by looking at a
checks. representative sample only. If a big enough sample is
collected then there is a strong likelihood that the results
of the sample will reflect the results for the workplace as
a whole.
For example, if the standard in a large office complex
is that all 1,200 fire extinguishers must be inspected

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

annually by a competent engineer, then there are several • A staff survey is an examination of workers’
ways to monitor this standard: opinions, usually collected by asking staff to fill in a
questionnaire.
• Check the maintenance records to ensure each and
every fire extinguisher has been signed off. All of these types of survey might be used to actively
monitor safety.
• Check all 1,200 fire extinguishers directly by
inspecting every one.
Safety Tours
• Check a representative sample of, say, 50 A safety tour is a high profile inspection of a workplace
extinguishers selected at random from various carried out by a group or team including managers. The
locations around the complex. tour may be formal, but can also be informal - a walk
The last method is safety sampling. It provides better round looking at points of interest (usually unscheduled).
evidence of compliance to the standard than simply The group carrying out the tour should include managers
checking the engineer’s maintenance records since from the area being inspected and possibly worker
they may have signed extinguishers off without ever representatives, safety specialists, occupational health
inspecting them. It is also far less time-consuming and specialists, engineers and workers from the area. One of
onerous than checking all 1,200 extinguishers directly. the objectives of the tour is to raise the profile of health
and safety and to demonstrate management interest and
commitment. Safety observation tours can also be used
to monitor the way that workers are behaving – these
are known as behavioural observations. Once behaviours
are observed, feedback (positive and negative) is given
to the worker so that the organisation and operator can
learn from the process.

Arrangements for Workplace

Inspections
Certain factors must be considered before the
introduction of a workplace inspection system, including:
• The type of inspection - inspections are carried out
for a number of different reasons and they examine
different aspects of safety in the workplace. Is this
a statutory inspection to ensure legal compliance?
A general workplace inspection that looks at plant
and premises? A pre-start inspection for an item of
machinery?
• The frequency of inspection – likely to be
determined both by the type of inspection and
the level of risk. For example, a general workplace
inspection might be conducted in an office once a
Workplace safety inspection
month, but once a week in a workshop environment
to reflect the higher risk. The frequency of statutory
inspections is normally determined by the relevant
Safety Surveys
law. Pre-start checks should usually be carried out at
A safety survey is a detailed examination of one the start of every shift.
particular issue or topic, e.g. a detailed examination of
the provision of emergency lighting within a building. • Allocation of responsibilities – those responsible
The word “survey” can be used to refer to various types for ensuring that inspections take place should be
of detailed examination: identified, as should the employees who will be
carrying out the inspections.
• Environmental monitoring is a form of safety survey,
e.g. a noise assessment usually requires that a noise • The competence and objectivity of the inspector
survey is carried out by a competent person using a – an essential characteristic of whoever is conducting
sound level meter. the inspection; the person should have the necessary
training, knowledge and experience. In some
• A structural survey is a detailed examination of the instances certification to a specific standard will be
structural integrity of a building or item. required; in other situations all that is necessary is an
understanding of the workplace, health and safety

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

principles, and a willingness to ask questions. An

inspector also needs to be impartial and objective
in their approach, even when looking at an area that
they are very familiar with. Training may be required
Factors to take into account when determining
for those who will be conducting inspections.
the frequency of inspections:
• The use of checklists – these are valuable tools for
• Statutory requirements may dictate an
use during the inspection process. Checklists ensure
inspection frequency.
that:
• The activities carried out and the level of risk.
–– All points are covered by the inspector.
–– There is a consistency of approach to the • How well established the process is, e.g.
process. new equipment may require more frequent
monitoring.
–– There is a form of written record of the
inspection and its findings. • Risk assessments may suggest inspections as a
However checklists do have their weaknesses, the control measure.
most important being that an inspector may only • Manufacturers may make recommendations
deal with the points on the checklist and ignore other as to inspection frequency and content.
issues that exist in the workplace but are not included
on the checklist. • The presence of vulnerable workers, e.g.
young and inexperienced people.
• Action planning for problems found – so that
appropriate action is taken following the inspection • Findings from previous inspections, which
to resolve issues in a timely manner. An inspection may suggest compliance concerns.
system that identifies a problem or issue but then • Accident history and results of investigations.
does not result in action being taken is a flawed
system. There must be clear identification of the: • Enforcement authorities may recommend
inspections.
–– Corrective action required.
• Whether workers have voiced concerns.
–– Persons responsible for taking that action.
–– Priorities/timescales.
The inspection system can be documented and Example Inspection System
formalised once procedures based on all these factors A bank head office introduces an inspection system to
have been agreed. actively monitor general health and safety standards.
A set of formal arrangements are documented and
included in the safety policy of the company. These
arrangements describe:
• The purpose of the inspection system – to monitor
general health and safety standards.
• The frequency of the inspections – once a month
for all areas.
• The persons responsible – managers of a particular
grade for ensuring that inspections are carried out,
managers of the next grade down for actually doing
the inspections.
• Competence of inspectors – the need for
inspecting managers to attend a one day course on
the inspection system.
• Inspection checklist – a generic checklist created
appropriate to all office areas, which may be tailored
by the inspector if necessary.
• Follow up arrangements – an action plan table
created and included on the inspection checklist.

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

The language used in the report must be formal

and free of slang and jargon. The tone of language
must be factual and persuasive. The report must be
concise. Busy managers do not have time to read
Typical topic headings that might be included in a
long, rambling sections of text.
generic inspection checklist:
• Structure
• Fire safety – including emergency escape
routes, signs, extinguishers. A typical report structure is:

• Housekeeping – general tidiness and –– Executive summary – a concise overview of the

cleanliness. main findings and recommendations.
–– Introduction – a few sentences to outline where
• Environment issues – such as lighting,
and when the inspection took place, who was
temperature, ventilation, noise.
present and the reasons for the inspection.
• Traffic routes – safety of both vehicle and –– Main findings – this can perhaps be divided
pedestrian routes. up into specific topic areas. For each topic the
• Chemical safety – appropriate use and problem highlighted can be described in a
storage of hazardous substances. factual manner and any relevant legal standard
identified.
• Machinery safety – such as correct use of
machine guards and interlocks. –– Recommendations – the immediate, medium
and long-term actions needed to remedy
• Electrical safety – such as portable electrical each of the issues found should be identified,
appliance safety. along with timescales and responsible persons.
• Welfare facilities – the suitability and state of. Actions should be prioritised on the basis of risk.
Justification of the recommendations should be
included.
–– Conclusions – a short section to end the report.
Effective Report Writing • Content
Many inspection systems require the inspector to
The significant findings of the inspection should be
write a report summarising their main findings and
presented. Trivia and minor issues should be omitted.
recommendations. In some cases this report is presented
The report must be factual and concise. Evidence of
in a standard proforma style where the inspector simply
what was observed might be presented.
fills in blank spaces on a report form. In other instances
a more narrative-style report is required where the • Justified Recommendations
inspector has much wider scope to explain and describe Any recommendations made should be justified.
what they found and what they recommend should be A persuasive argument might be made based
done about it. If this sort of inspection report is written on the moral, legal and economic arguments.
then it must be effective; this requires an appropriate Recommendations might be presented in an action
writing style. plan:

Recommended Priority Time- Responsible

action scale person
Tidy the office Medium 1 Week Office
Supervisor

Other Active Monitoring Techniques

Health Surveillance
Monitoring worker health can be considered an active
monitoring measure, as carrying out measurements of
parameters such as hearing (through audiometry) can
provide a measure of effectiveness of controls.
Worker completing an inspection report

• Writing Style

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

Benchmarking One popular accident rate used to measure an

You will remember that the comparison of an organisation’s safety performance is the Accident
organisation’s performance with others in the industry Incidence Rate (AIR):
or sector is known as “benchmarking”. This provides an Number of accidents during a specific time period
IR = x 1000
Average number of workers over the same time period
indication of how well the organisation is performing
compared with similar companies.
(The answer is in units of ‘accidents per 1000 workers’.)
Reactive Monitoring This allows meaningful comparison of accident statistics
Reactive monitoring uses incidents, ill-health and other from one year to the next even though more or less
unwanted events and situations as indicators of health workers may be present in the workplace.
and safety performance to highlight areas of concern.
By definition this means “reacting” after things have Example
gone wrong. This indicates two weaknesses with reactive A large factory has 20 lost-time accidents in one year
monitoring: but 35 lost-time accidents the next. This appears to
• Things have already gone wrong: things are being represent an increase of 75%, indicating that the
put right after the event rather than before. factory’s safety standards have slipped and it has become
a more dangerous place to work.
• It measures failure, which is a negative aspect to
focus on. However, when the number of workers employed in the
factory is taken into account and the AIR for each year is
Despite these weaknesses, reactive monitoring is a valid calculated:
tool for an organisation to use as long as some forms of
active monitoring are being carried out as well. Reactive Year 1: 800 workers:
monitoring can be carried out by learning lessons: AIR = 20 x 1000 = 25 lost time accidents per 1000 workers
800
• From one individual event such as an accident, a
dangerous occurrence, a near miss or a case of ill-
health. Year 2: 1500 workers:
AIR = 35 x 1000 = 23 lost time accidents per 1000 workers
• From data gathered from large numbers of the same 1500
types of event.
The first method involves event reporting, recording The accident rate for both years is actually very similar so
and investigation (see later in this element). The second the original conclusion was incorrect. The workplace has
method is concerned with the collection and use of not become more dangerous; the increase in the number
statistics. of accidents occurred because more people now work in
the factory.
Statistics Of course, statistics do sometimes show a false picture
Data can be collected and reported about a number of of what is happening in the workplace and there are
different unwanted events such as: times when they can be deliberately manipulated to
• Accidents. present a desired result. Statistics should always be
used and interpreted carefully to ensure that what the
• Dangerous occurrences. data seems to be showing is what is actually happening.
• Near misses. For example, often after a training course on accident
reporting has been delivered to staff, the accident
• Cases of ill-health. rate increases dramatically. This seems to indicate that
• Complaints from the workforce. more accidents are occurring. In fact the same number
of accidents are happening as have always happened,
• Enforcement action. but now all the accidents are being reported, recorded
This data can then be analysed to see if there are any: and seen by management. The increase is caused by
improved reporting, which in turn has been caused by
• Trends – consistent increases or decreases in the better awareness of the reporting procedures created by
number of certain types of event over a period of the training course.
time.
• Patterns – collections or hot-spots of certain types Enforcement Actions
of event. The number of enforcement actions taken against
This analysis usually involves converting the raw data (i.e. an organisation is an indication of health and safety
the actual numbers) into an accident rate so that more performance, and this data is often required in pre-
meaningful comparisons can be made. tender qualification questionnaires.

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

Civil Claims
Many organisations track the number and value of civil
claims as a reactive measure – as with all measures this
is, of course, only part of the picture as many conditions
could result in the employer seeing an increase in claims
(e.g. advertising from legal organisations highlighting
the possibility of making a claim, dissatisfaction with the
company as a whole), whilst active defence of claims may
discourage others from bringing such action.

Revision Questions

1. Define reactive and active monitoring.

2. What do we mean by systematic monitoring?

3. State the sources of information used in

reactive monitoring.

4. State the purpose of workplace inspections.

5. What is the difference between a safety

inspection and safety tour?

6. What role does senior management have in

workplace inspections?

7. Why are checklists used in inspections?

8. What should the introductory part of an

inspection report contain?
(Suggested Answers are at the end of Unit IGC1.)

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

Health and Safety Auditing

• Auditing is the systematic, objective, critical evaluation of an organisation’s health and safety management
system.
• Preparations have to be made prior to an audit commencing.
• During an audit three different types of evidence will be sought: documents and records, interviews, and direct
observation in the workplace.
• Audit reports feed information back into the review process so that action can be taken for continuous
improvement.
• Audits can be conducted by external personnel and by internal staff. There are strengths and weaknesses to
both types.

Definition of Health and Safety Auditing The Distinction Between Audits and Inspections
Auditing can be defined as: An audit focuses on management systems:
“The structured process of collecting independent • It examines documents such as the safety policy,
information on the efficiency, effectiveness and arrangements, procedures, risk assessments, safe
reliability of the total health and safety management systems of work, method statements, etc.
system and drawing up plans for corrective action”. • It looks closely at records such as those created to
A shorter definition might be that auditing is the verify training, maintenance, inspections, statutory
“systematic, objective, critical evaluation of how well examinations, etc.
an organisation’s management system performed by • It verifies the standards that exist within the
examining evidence”. Health and safety audits share workplace by interview and direct observation.
many common features with financial, quality and
environmental management audits; the basic principles An inspection is a simpler process of checking the
are the same. workplace for uncontrolled hazards and addressing any
that are found.
Scope and Purpose of Auditing
Auditing is a mechanism for verifying that an
The Audit Process
organisation’s safety management system is in place and Different audits are run in slightly different ways. What
operating effectively. It will check that: follows is a fairly typical audit process.

• Appropriate management arrangements are in place.

• Adequate risk control systems exist - that they are
implemented, and are consistent with the hazard
profile of the organisation.
• Appropriate workplace precautions are in place.
The intention of an audit is to provide critical feedback
on the management system so that appropriate follow
up action can be taken. An audit can, therefore, be
viewed as negative since it will tend to focus on areas
of weakness and non-conformance. In fact some audits Auditor examining policy documents
do not make any mention of any positive aspects of the
safety management system at all; they focus entirely on Pre-Audit Preparations
the weaknesses. This is, however, inherent in the purpose Before the audit starts the following should be defined:
of the audit – to identify weaknesses so that they can be
• The scope of the audit – will it cover health
dealt with. Auditing is often thought of as another form
and safety, or health, safety and environmental
of active monitoring.
management as well?

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

• The area of the audit – one department, one whole

site, all sites?
• The extent of the audit – fully comprehensive (which
may take weeks) or more selective? Typical information examined during an audit:
• Who will be required – auditors will need to be • Health and safety policy.
accompanied during their visit and will need access
• Risk assessments and safe systems of work.
to managers and workers for information-gathering,
therefore those required for interviews should be • Training records.
notified in advance. • Minutes of safety committee meetings.
• Information-gathering - it is common practice for • Maintenance records and details of failures.
auditors to ask for copies of relevant documentation
before starting the audit so that they can prepare. • Records of health and safety monitoring
activities, e.g. tours, inspections, surveys, etc.
The organisation will have to ensure that the auditor is
competent, i.e. that they have the relevant qualifications, • Accident investigation reports and data
experience and knowledge to do the job well. This can including near miss information.
apply to both internal and external auditors. If internal • Emergency arrangements.
staff are used as auditors sufficient time and resources
will have to be allocated so that they can be trained and • Inspection reports from insurance companies,
developed in that role. etc.
All of these elements of the audit process require the • Output from regulator visits, e.g. visit reports,
allocation of sufficient management time and resources. enforcement actions, etc.
• Records of worker complaints.
During the Audit
Auditors use three methods to gather factual
information: At the End of the Audit
• Reference to paperwork – the documents and Verbal feedback is usually provided at the end of an
records which indicate what should be happening audit; for some audits this will involve a presentation
and what has happened relevant to a particular issue. to the management team. This verbal feedback will
• Interviews – word-of-mouth evidence given by be followed by a written report. The report will make
managers and workers. recommendations for improvement with an indication of
priorities and timescales.
• Direct observation – of the workplace, equipment,
activities and behaviour.
Responsibility for Audits
Auditors will sometimes seek to collect evidence so that It is the responsibility of the organisation to establish
their findings cannot be refuted; this can be done by and implement health and safety auditing. There
copying paperwork, taking photographs and having a are circumstances when external authorities such
witness to corroborate word-of-mouth evidence. as enforcement authorities or insurance companies
An auditor’s favourite phrases are: “Show me” and “Can will carry out audits; or an organisation may have to
you prove it?”. be audited in order to achieve or maintain certain
certifications (e.g. OHSAS 18001 certification).
Once an audit has been carried out and feedback has
been received in the form of recommendations for
improvement it is the responsibility of management to
ensure that the feedback is acted upon. This is normally
done through the review process (see later) with the
creation of action plans.

External and Internal Audits

Audits are often carried out by safety specialists from
outside the organisation; they can also be done by in-
house staff. In many instances both types of audit are
carried out at different frequencies by the organisation.
There are advantages and disadvantages to both types.

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 Element 5: Health and Safety Management Systems 4 – Measuring, Audit and Review

Advantages Disadvantages
• Independent of any internal influence. • Expensive.
• Fresh pair of eyes. • Time-consuming.
• Already has audit experience. • May not understand the business so make
impractical suggestions.
External • May have wider experience of different types of
Audits workplace. • May intimidate workers so get incomplete
evidence.
• Recommendations often carry more weight.
• May be more up-to- date with law and best practice.
• May be more able to be critical, e.g. of management.
• Less expensive. • Auditors may not notice certain issues.
• Auditors already familiar with the workplace and • Auditors may not have good knowledge of
what is practicable for the industry. industry or legal standards.
• Can see changes since last audit. • Auditors may not possess auditing skills so
Internal
may need training.
Audits • Improves ownership of issues found.
• Auditors are not independent so may be
• Builds competence internally.
subject to internal influence.
• Workforce may be more at ease.
• Familiarity with workforce and individuals.

Actions Taken Following Audits –

Correcting Non-Conformities
After the audit there may be a number of findings
which require action, presented in the audit feedback http://www.ilo.org/safework/lang--en/index.
and report. These may be classified according to their htm
significance. Here we indicate parallels with ISO systems
as many organisations have experience of them:
• Major non-conformance – a significant issue or
breach which requires urgent action. This could
result in the failure of the safety management system
and/or result in injury. In ISO terms, a major non-
conformance would be grounds for the refusal of
certification. In the exam, you might find it helpful to answer
the questions that you feel most confident about
• Minor non-conformance – an issue which is less first. Leave the really hard question until last.
serious in nature and unlikely to result in injury or
a breakdown of the system. In ISO terms, a minor
non-conformance would require corrective action,
but certification would be granted.
• Observations – an opinion given by the auditor
which the organisation could decide to act upon.
The audit feedback session and report is usually
presented to senior management for action and/or Revision Questions
praise as required. This is a demonstration of leadership
and in some cases a requirement in the standards which
are being audited. The management team have the 9. Define health and safety auditing.
authority and resources to take action where required,
and may also need to adjust the organisational goals and 10. Outline the differences between health and
objectives. safety audits and workplace inspections.
(Suggested Answers are at the end of Unit IGC1.)

Unit IGC1 – Element 5 | 5-10 © RRC Training